on the amended regulations have been published in the Government Gazette and have taken effect since 16 January 2024. ________________________Remarks:Notifications on the relevant regulations are: 1
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
://publish.sec.or.th/nrs/9646p.docx translate-spv.docx incurred in the actual handling of the matters shall be taken into consideration without the principal intention being to generate revenue. The fees shall become
/EN/Documents/ActandRoyalEnactment/RoyalEnactment/enactment-specialjuristicpers... translate-spv.docx incurred in the actual handling of the matters shall be taken into consideration without the
investigation and submit the case file to a public prosecutor. The case will be taken into consideration under the court. Under this measure, the offender might be imprisoned. Procedure for Administrative Action
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
targeted audience? 2 How does the firm manage internal communication channels and/or methods to ensure that the most appropriate approaches are taken in urgent circumstance? (e.g., using multiple channel and
. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more https://www.sec.or.th/EN/Documents/Personel
taken for not more https://www.sec.or.th/EN/Documents/Personel/Qualifications%20of%20Securities%20Investment%20Analyst%... Section 98 allowing such transaction; (5) sell securities without having
มูลค่าการซื้อสินทรัพย์ดิจิทัล https://publish.sec.or.th/nrs/9646p.docx translate-spv.docx incurred in the actual handling of the matters shall be taken into consideration without the principal intention